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RSA 421-B · UNIFORM SECURITIES ACT
XXXVIII: SECURITIES · Official source
- RSA 421-B:1-101 · Short Title
- RSA 421-B:1-102 · Definitions
- RSA 421-B:1-103 · References to Federal Statutes
- RSA 421-B:1-104 · References to Federal Agencies
- RSA 421-B:1-105 · Electronic Records and Signatures
- RSA 421-B:2-201 · Exempt Securities
- RSA 421-B:2-202 · Exempt Transactions
- RSA 421-B:2-202-A · Implementing Provisions
- RSA 421-B:2-203 · Additional Exemptions and Waivers
- RSA 421-B:2-204 · Denial, Suspension, Revocation, Conditions, or Limitation of Exemptions
- RSA 421-B:3-301 · Securities Registration Requirement
- RSA 421-B:3-302 · Notice Filing
- RSA 421-B:3-303 · Securities Registration by Coordination
- RSA 421-B:3-304 · Securities Registration by Qualification
- RSA 421-B:3-305 · Securities Registration Filings
- RSA 421-B:3-306 · Denial, Suspension, and Revocation of Securities Registration
- RSA 421-B:3-307 · Waiver and Modification
- RSA 421-B:4-401 · Broker-Dealer Registration Requirements and Exemptions
- RSA 421-B:4-402 · Agent Registration Requirements and Exemptions
- RSA 421-B:4-403 · Investment Adviser Registration Requirements and Exemptions
- RSA 421-B:4-404 · Investment Adviser Representative Registration Requirement and Exemptions
- RSA 421-B:4-405 · Federal Covered Investment Adviser Notice Filing Requirement
- RSA 421-B:4-406 · Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
- RSA 421-B:4-407 · Succession and Change in Registration of Broker-Dealer or Investment Adviser
- RSA 421-B:4-408 · Termination of Employment or Association of Agent and Investment Adviser Representative and Transfer of Employment or Association
- RSA 421-B:4-409 · Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative
- RSA 421-B:4-410 · Filing Fees
- RSA 421-B:4-411 · Postregistration Requirements
- RSA 421-B:4-412 · Denial, Revocation, Suspension, Withdrawal, Restriction, Condition, or Limitation of Registration
- RSA 421-B:5-501 · Fraud and Liabilities
- RSA 421-B:5-502 · Prohibited Conduct in Providing Investment Advice
- RSA 421-B:5-502-A · Custody of Client Funds or Securities by Investment Advisers
- RSA 421-B:5-503 · Evidentiary Burden
- RSA 421-B:5-504 · Filing of Sales and Advertising Literature
- RSA 421-B:5-505 · Misleading Filings
- RSA 421-B:5-506 · Misrepresentations Concerning Registration or Exemption
- RSA 421-B:5-507 · Qualified Immunity
- RSA 421-B:5-507-A · Financial Exploitation of Vulnerable Adults
- RSA 421-B:5-508 · Criminal Penalties
- RSA 421-B:5-509 · Civil Liability
- RSA 421-B:5-510 · Rescission Offers
- RSA 421-B:5-511 · Liability of Issuers, Sellers, and Others Who Facilitate Exchange of Open Blockchain Tokens
- RSA 421-B:6-601 · Administration of Chapter
- RSA 421-B:6-602 · Investigations and Subpoenas
- RSA 421-B:6-603 · Civil Enforcement
- RSA 421-B:6-604 · Administrative Enforcement
- RSA 421-B:6-605 · Orders, Interpretative Opinions, and Hearings
- RSA 421-B:6-606 · Administrative Files and Opinions
- RSA 421-B:6-607 · Public Records; Confidentiality
- RSA 421-B:6-608 · Uniformity and Cooperation with Other Agencies
- RSA 421-B:6-609 · Judicial Review
- RSA 421-B:6-610 · Jurisdiction
- RSA 421-B:6-611 · Service of Process
- RSA 421-B:6-612 · Severability Clause
- RSA 421-B:6-613 · Hearing Procedures
- RSA 421-B:6-614 · Fees
- RSA 421-B:7-701 · Application of Act to Existing Proceeding and Existing Rights and Duties